1 THE IOM HANDBOOK ON Direct Assistance for Victims of Trafficking
2 IOM is committed to the principle that humane and orderly migration benefi ts migrants and society. As an intergovernmental body, IOM acts with its partners in the international community to: assist in meeting the operational challenges of migration; advance understanding of migration issues; encourage social and economic development through migration; and uphold the human dignity and well-being of migrants. Opinions expressed in the chapters of this manual are those of the contributors and do not necessarily refl ect the views of IOM. Publisher: International Organization for Migration 17, route des Morillons 1211 Geneva 19 Switzerland Tel: Fax: Internet: ISBN International Organization for Migration (IOM) All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise without the prior written permission of the publisher. 09_07
3 THE IOM HANDBOOK ON Direct Assistance for Victims of Trafficking
5 Preface v Chapter 1 Security and Personal Safety 1 Chapter 2 Screening of Victims of Trafficking 15 Chapter 3 Referral and Reintegration Assistance 53 iii Chapter 4 Shelter Guidelines 109 Chapter 5 Health and Trafficking 181 Chapter 6 Cooperation with Law Enforcement Agencies 271 Appendices 307
7 Objectives IOM has had some 13 years of experience in implementing counter-traffi cking activities and has provided assistance to over 14,000 victims of traffi cking in all regions of the world. With a growing number of organizations, especially local NGOs, now providing or intending to provide assistance to victims of traffi cking, IOM would like to share its experience and lessons learned. This Handbook summarizes and systematizes this experience. IOM recognizes that each victim is unique and requires and desires different assistance. As well, the nature of traffi cking is different around the world and is ever evolving, requiring changing responses. Therefore this Handbook is not meant to provide a single methodology for the provision of assistance to victims of traffi cking, but to offer suggestions and guidance, based on IOM s many years of experience. IOM hopes that it will be helpful to all organizations providing such assistance to victims, but especially for organizations who are just beginning to develop victim assistance programmes and can benefi t from IOM s experiences. v This Handbook provides guidance and advice necessary to effectively deliver a full range of assistance to victims of traffi cking from the point of initial contact and screening up to the effective social reintegration of the individuals concerned. Although the Handbook covers assistance to minors, it does not do so in the depth necessary for the concerned practitioner who should be sure to also refer to UNICEF s Guidelines on the Protection of Child Victims of Traffi cking. Structure of the Handbook The Handbook is designed to be read as a whole, but it can also be used to refer to specifi c topics dealt with in specifi c chapters. All the chapters and
8 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING appendices are closely interrelated. To address such complex issues in the most professional manner possible, it is important to adopt a holistic approach. In order to gain maximum benefi t from this Handbook, the reader is advised to read and develop a sound knowledge of the entire contents. The Handbook is divided into seven sections described below. The chapters are set out in sequential order. It is recommended for the reader to proceed systematically and become well acquainted with the whole content of each successive chapter. However, where specifi c guidance is needed on a specifi c topic, each chapter can also be consulted on its own. vi Chapter 1 Chapter 2 Chapter 3 Chapter 4 Chapter 5 Chapter 6 Appendix I Appendix II Appendix III Security and Personal Safety Screening of Victims of Traffi cking Referral and Reintegration Assistance Shelter Guidelines Health and Traffi cking Cooperation with Law Enforcement Authorities Ethical Principles in Caring for and Interviewing Traffi cked Persons Interview Checklist Glossary The various chapters address the following topics and key themes: Chapter 1 Security and Personal Safety This chapter sets out the key principles concerning security and personal safety, and covers the topics of risk assessment, high-risk cases, risk management, security of confi dential data, best practice in security procedures and personal safety for staff and benefi ciaries. The key theme of the chapter is the recognition of the increased risk to staff when providing assistance and protection to traffi cking victims, and the adoption of a set of basic security standards and procedures intended to minimize and manage such risks.
9 PREFACE Chapter 2 Screening of Victims of Trafficking This chapter presents a formula to enable organizations to better distinguish between the different crimes of traffi cking in human beings and people smuggling, and outlines a methodology for the screening and identifi cation of individuals seeking assistance as traffi cking victims. Topics covered include relevant international legal standards on the issue, the screening process itself, assessment indicators and specifi c assessment questions, victim response and treatment, additional corroborative material and the fi nal decision-making process. The key theme of the chapter is to provide guidelines for organizations to accurately identify traffi cking victims so as to be in a position to effectively address their needs and provide them with assistance and protection. Chapter 3 Referral and Reintegration Assistance This chapter covers the whole area of victim referral and the subsequent provision of a wide range of support measures up to and including successful reintegration. Topics covered include the preparation of and implementation of assisted voluntary return of traffi cking victims, assessment and planning for reintegration assistance, and the provision of reintegration support. vii The key theme of this chapter is the provision of effective and appropriate assistance and protection to victims of traffi cking, on a case-by-case basis in accordance with their needs and fundamental human rights. Chapter 4 Shelter Guidelines This chapter covers the establishment of shelters for victims of traffi cking, shelter management and staffi ng, procedures for assisting residents of the shelter, the treatment of shelter residents and the provision of shelter services and assistance. The key theme of this chapter is the establishment of safe shelters and the provision of appropriate and effective assistance and protection to victims of traffi cking in a shelter environment.
10 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING Chapter 5 Health and Trafficking The health chapter provides comprehensive instructions and advice on health and human rights issues, e.g., conceptual frameworks, ethical and safety principles, issues affecting care, special health considerations, medico-legal health aspects, clinical procedures and management, health planning and staff health issues. The key theme of the chapter is the development of minimum standards of care and the provision of specialized health services in accordance with the needs of the traffi cking victim. The chapter focuses on service provision not only against the background of human rights, but also the public health interests of the countries of origin, of transit and of destination. Chapter 6 Cooperation with Law Enforcement Authorities viii The fi nal chapter provides detailed instructions and advice on the sensitive issue of cooperation with law enforcement authorities in combating traffi cking in human beings. The chapter sets out the background, risk and rationale of such cooperation and the topics covered include the legal options and rights of traffi cking victims, the establishment of Memorandum of Understanding with law enforcement, liaison with police units, technical cooperation and capacity building, intelligence sharing, and transfer of witnesses in criminal proceedings. The key themes of the chapter are (1) ensuring that victims of traffi cking are informed of their criminal justice options and provided an opportunity to realize those options, and (2) the development of an ethical and professional reciprocal cooperative process between service delivery organizations and law enforcement agencies to ensure the better protection of victims rights under the criminal justice system and to provide the basis for a medium-term strategy to improve the rate of detection and prosecution of traffi ckers and end the impunity with which they operate.
11 PREFACE Appendix I Ethical Principles in Caring for and Interviewing Trafficked Persons Appendix I provides basic instructions on the appropriate behaviour any staff member should have in order to respect the rights and specifi c situation of the traffi cked person. Appendix II Interview Checklist Appendix II provides a checklist of issues to be considered and addressed at the beginning of each interview between service delivery organization staff and individuals who seek assistance as victims of traffi cking. Appendix III Glossary A glossary is provided to clarify key terms used throughout the Handbook and during the process of identifying and providing assistance and protection to victims of traffi cking. ix Basic Principles The instructions and advice offered in this Handbook are themselves based on the following principles governing counter-traffi cking activities: A commitment to curtail human traffi cking and to protect the rights of those who have become victims of traffi cking, and to act to achieve respect for and protection of the human dignity and well-being of victims. The protection, safety and the respect of human rights of actual and potential traffi cking victims are the guiding principles to be followed at all times. All services to traffi cking victims are provided on the basis of the informed consent of a victim and, concerning support under the Assisted Voluntary Return programme, such assistance shall only be extended to victims who have freely chosen to return home. This Handbook refl ects the international standards set out in the United Nations Protocol to Prevent, Suppress and Punish Traffi cking in Persons, Especially Women and Children.
12 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING It refl ects the international standards set out in the United Nations Offi ce of the High Commissioner for Human Rights Principles and Guidelines on Human Traffi cking and Human Rights. In providing assistance to children who have become victims of traffi cking, organizations should always act in accordance with the best interests of the child. Key Guidelines x Do no harm. To do no harm is the fi rst principle of most medical ethical guidance. Given the extreme risks associated with traffi cking, the fragile state of many of its victims, and the potential for increased trauma, the signifi cance of this basic rule cannot be overstated. It is the ethical responsibility of every organization providing assistance to victims of traffi cking to assess the potential for harm of any proposed action and, if there is any reason to believe that carrying out an interview or conducting an examination or procedure will cause the individual to be worse off than before, it should not be undertaken at that time. Individualized treatment and care. While acknowledging that traffi cking victims share some common experiences and circumstances, organizations should recognize and respect the individuality of victims and, to the extent possible, provide personalized care and assistance. Throughout the assistance process, staff should strive to provide the most appropriate protection, assistance and support appropriate to the needs and circumstances of the individual victim. Continuing and comprehensive care. The range of services outlined in Chapters 3 and 4 of this Handbook are designed to offer a holistic approach to aid the recovery of traffi cking victims, thereby offering a comprehensive continuum of care in accordance with the physical, psychological and social state of the victims. Victim interviews and informed consent. Throughout the assistance process, from initial contact and screening up to the fi nal social reintegration, there are numerous instances where traffi cking victims are interviewed in relation to a broad range of issues, such as initial screening interview, case history interview, assistance interviews, a range of health interviews and other procedures. Moreover, during many of these encounters, the victim will be required to make decisions and to provide
13 PREFACE written consent to a number of actions or procedures. Guidelines on the approach to be adopted during the interview and the securing of a victim s informed consent are provided in Appendices I and II to enable staff to conduct interviews in a fair and professional manner, respectful of the human rights of the victims concerned. Staff should read these Appendices carefully before conducting any interviews. Self-determination and participation. Recognize the right and need of victims to make their own choices and decisions, and encourage them to participate in decision-making as much as possible. By working in collaboration with victims, staff should aim to restore the autonomy of victims and to enable them to take decisions and actions affecting them. Such collaboration will help them to regain control over decisions affecting their lives and increase their confi dence to determine the next courses of action. Non-discrimination. Staff must provide the best possible assistance to victims of traffi cking without discrimination, for example, on the basis of gender, age, disability, colour, social class, race, religion, language, political beliefs or status. Confidentiality and right to privacy. Confi dential traffi cking data should not be disclosed without the victim s prior knowledge and informed written consent. (See Chapter 5 regarding the disclosure of data necessary to enable law enforcement agencies to secure the safety of other victims still under the control of traffi ckers, or of those who are about to be traffi cked.) xi Note on Terminology The term victim has generated much debate in the context of violence against women; many argue that it implies powerlessness, rather than the resilience of the victim and therefore prefer to use the term survivor. However, in the area of human rights and protection, the term victim is used to refer to someone experiencing injustice for which the perpetrator is responsible. It indicates that the person or persons experiencing human rights violations have the right to protection, assistance and reparation (Billings et al., 2005). In the context of this report which focuses on protection and assistance we use the term victim with the above clarifi cation to
14 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING highlight the rights of the victim to protection as well as the responsibilities of government and civil society to afford this protection. There is much debate about the choice of terminology when speaking of prostitution as opposed to commercial sex work, with terminology often refl ecting the ideological position of the speaker. In the context of this report, we speak of prostitution and prostitutes. However, the choice of wording does not imply any ideological stance on the part of IOM nor should the use of the words prostitute and prostitution imply any negative judgement of persons engaged in such activity. Acknowledgements xii IOM would like to express its gratitude to the many colleagues and partners who contributed to the realization of this Handbook. Special credit is due to the lead authors of the original internal version of the Handbook: Paul Holmes for Chapters 1, 2 and 6; Fred Larsson for Chapter 3; Pamela Sumner-Coffey for Chapter 4; and Cathy Zimmerman for Chapter 5. Ruth Rosenberg worked tirelessly on this revised edition, updating the material as well as adapting it for a broader readership. IOM is especially grateful to Ruth for making this long and widely awaited Handbook a reality. Ana Barbosa, Segundo dela Cruz Jr., Akram Eltom, Marco Gramegna, Dario Muhamudo, Helen Nilsson, Ilse Pinto, Caroline San Miguel, Rebecca Surtees, Theodora Suter, Katarina Tomolova, Krieng Triumphavong and Shyla Vohra all made invaluable contributions to the Handbook. Sarah Stephen James, Jyothi Kanics, Karolina Lindholm-Billing, Denise Marshall and Bandana Pattanaik were all kind enough to take the time to read the Handbook and provide invaluable comments and suggestions. Richard Danziger Director Counter-Traffi cking Service IOM
15 CHAPTER 1 SECURITY AND PERSONAL SAFETY Security and Personal Safety 1
16 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING Chapter Contents Key Principles 2 Security Issues and Risk Assessment Risk Assessment Handling and Security of Confidential Personal and Trafficking Data Confi dential Personal Data of Traffi cking Victims Handling and Disposal of Confi dential Personal and Traffi cking Data Best Safety Practice Service Delivery Organization Staff Best Practice Initial Victim Contact Best Practice Victim Interviews Personal Security 12 2 The specifi c aim of this chapter of the Handbook is to provide guidance to service delivery organizations on the security issues which arise at each stage of the victim assistance process. These issues are presented here in one comprehensive section. The reader will fi nd that some of the points raised here are repeated elsewhere at relevant sections throughout the Handbook. This is intentional, since good security procedures cannot be over-emphasized or repeated too often. Key Principles Trafficking in human beings is often controlled by international organized criminal networks and the potential level of risk to which victims of trafficking and service delivery personnel who interact with trafficking victims are exposed must, therefore, be considered as significant.
17 CHAPTER 1 SECURITY AND PERSONAL SAFETY Without overstating the degree of risk, the key to managing such situations lies in the careful assessment of the security risk involved in each case, and the constant adherence to basic best practice security procedures. Total security cannot be guaranteed in any situation and, while in many cases no risk to service delivery personnel will be involved, it is a fundamental principle of best security practice to consider each case from the outset as a potential security risk, and for security risk and risk management to be assessed according to the known circumstances of each case. Security Issues and Risk Assessment Providing assistance to traffi cked persons is an inherently risky business and no security system, no matter how sophisticated and well equipped, can completely eliminate the element of risk. The capacity of the traffi ckers to retaliate against victims who have managed to escape and/or have testifi ed against them is well documented. Therefore, the risk posed to traffi cking victims by their exploiters cannot be overstated. 3 There have always been risks to the victims of traffi cking and, though less so, to those who assist them. That risk may be expected to increase as service delivery organizations help more victims to escape from their exploiters and more victims testify against their traffi ckers. The duty of care to victims and staff incumbent on service delivery organizations is to ensure that the risks are properly identifi ed and assessed at every stage of the assistance process and that, within realistic and reasonable means, appropriate security measures are taken to ensure that the risks are effectively managed. The guidance set out in this chapter is designed to explain the process of doing so. 1.1 Risk Assessment The fi rst step in confronting this threat is to properly identify and assess the level of risk. Effective risk assessment involves a generic risk assessment conducted in the country, continuous review of the risk assessment,
18 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING and specifi c assessment of risk in response to specifi c events. To facilitate this process, a range of risk indicators to be considered in each case is set out below. However, it should be borne in mind that the list is not exhaustive and, depending on the circumstances in each country and each case, other risks and risk indicators may be present which should be assessed by local staff according to their best knowledge of local circumstances and expertise. Where there is strong cooperation between the service delivery organization and the relevant local or national law enforcement authorities, the process of risk assessment should be conducted in close consultation with them. GENERIC RISK ASSESSMENT 4 It will be necessary to conduct a periodic review of the generic risks posed by the activities of traffi ckers. The process described here is designed to gauge such risks from the outset. The fi rst stage of risk assessment is to evaluate the prevailing circumstances in the country concerned. The following indicators should be considered. Generic risk assessment indicators The extent and impact of trafficking in the country. Is the country concerned one of origin, of transit or of destination, or any combination thereof? How many trafficking victims may be expected to seek the service delivery organization assistance? The extent to which trafficking is controlled by organized criminal groups. Their known or estimated capacity to plan and implement reprisals against the victims and/or service delivery organization staff. The capacity of the local law enforcement agencies. The extent of endemic corruption and how it adds to the level of risk. The level of governmental commitment and support to combat trafficking in human beings. Note: Individual organizations which do not have the capacity or resources to conduct a generic risk assessment themselves can obtain relevant in-
19 CHAPTER 1 SECURITY AND PERSONAL SAFETY formation from the police, local or international NGOs, United Nations offi ces, other intergovernmental organizations, foreign embassies, or others. CONTINUOUS REVIEW OF RISK ASSESSMENT It is of critical importance to conduct an ongoing process of assessing generic risk. It is not enough to conduct an assessment once as it will only constitute an effective security measure if it is regularly reviewed and updated. The intervals will vary depending on the prevailing circumstances. Conducting risk assessments and having in place a risk management plan is the responsibility of every service delivery organization. The risk assessment should be reviewed on a monthly basis, at the least. Depending on the circumstances of a case, risk assessments may have to be reviewed on a weekly or daily basis during periods of high risk. 5 SPECIFIC ASSESSMENT OF RISKS IN RESPONSE TO SPECIFIC EVENTS While a continuous generic review of risk is an essential component of any risk assessment, a specifi c review is called for whenever specifi c events pose an additional or increased threat. Each case will present different specifi c challenges and risks and each case will need to be assessed on the available information and indicators. The list set out below is an example of a range of specifi c events that should be the subject of specifi c risk assessment please note that this list is a sample and should not be regarded as comprehensive. In addition to each of these examples, the following factors affecting risk should be factored into the assessment: All escaped victims are at risk of reprisals from traffi ckers, irrespective of whether or not they have cooperated with law enforcement agencies. These risks are immediately magnifi ed in those cases in which the victims cooperate with law enforcement agencies because the victims then pose a much higher risk to the liberty of the traffi ckers.
20 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING In any case in which it is established that the traffi ckers have already become aware that a victim has or intends to cooperate with law enforcement offi cials, the risk levels increase and become more immediate. Examples of specific risk events 6 The point at which a victim is first referred to the service delivery organization for assistance, especially if it can be foreseen that the assistance package will include admission to a shelter and or cooperation with law enforcement agencies. Any assisted movement of victims in cases where they have already provided evidence to a law enforcement agency and where there is any reason to believe that the traffickers are aware of this fact. In relation to victims being cared for in shelters any planned movements outside of the shelter to attend hospitals, clinics or other welfare or social assistance appointments. In relation to any victim in the service delivery organization s care who is cooperating with law enforcement any movement to keep appointments in relation to that cooperation, such as attendance at premises to make statements, or attend identification parades, or police medical examinations. Attendance at court buildings, especially any planned attendance to provide testimony at the trial of the traffickers especially as the traffickers will be aware of it because they will have been informed as part of their rights as accused persons. Any movement of a victim or member of staff related to transferring the victim from one country to another to enable that victim to testify against traffickers in that other country again, the risk level will be very high because the traffickers are likely to be able to predict the timing and route of the transfer, either in the origin or destination country, or both. Any incident that can be interpreted as attempted intimidation of a victim or member of staff such as anonymous and threatening phone calls, or repeated calls where the caller hangs up without speaking, the repeated and prolonged appearance outside of shelters of unknown persons or vehicles or the overt following at a distance of a victim or member of staff.
21 CHAPTER 1 SECURITY AND PERSONAL SAFETY RISK MANAGEMENT PLANS AND DOCUMENTATION Each risk assessment, be it generic, review or specifi c, must be accompanied by a risk management plan designed to address the areas of risk identifi ed during the assessment process: The initial generic review should be accompanied by a risk management plan specifying the minimum level of security standards and the appropriate procedures to ensure that the risk is reduced to a minimum and effectively managed. As a risk assessment review is carried out as part of the continuity plan, a new risk management plan will only be necessary if the risk has increased or new risks have been identifi ed. Whenever an immediate review was conducted in response to a specifi c threat or event, it must be accompanied by an updated risk management plan designed to address the new risk. The plans should be fully documented and should comprise the assessment of the fresh risk followed by the plan for implementation of additional security measures designed to effectively manage such new risk. 7 Conducting risk assessments and developing risk management plans are necessary for service delivery organizations to protect the victims served and the staff who assist them. Each procedure should be fully documented and all documentation, whether electronic or other, must be treated confi dentially and in accordance with best practices on the handling and security of confi dential personal and traffi cking data (see below). 1.2 Handling and Security of Confidential Personal and Trafficking Data It is of critical importance to handle confi dential data concerning the victim, the traffi cking process and the service delivery organization staff with all due regard to security considerations and rules.
22 THE IOM HANDBOOK ON DIRECT ASSISTANCE FOR VICTIMS OF TRAFFICKING Service delivery organizations should ensure that trafficking victims are fully informed as to the purpose of the collection of data about them and the uses to which it will be put, as well as to their own rights to access the data. Service delivery organizations should ensure that no personal data of victims of trafficking be released unless the victim gives written and fully informed consent authorizing the release of personal data for specific purposes and uses. In view of the increased risk posed by organized criminal activities to trafficking victims and support staff, the service delivery organization must at all times use all due diligence in the management and disposal of confidential personal data. 8 The sensitive nature of confi dential personal and traffi cking data and the importance of handling such data with all necessary care cannot be overemphasized. At all times victim case fi les should be handled with the utmost care and confi dentiality. The guidelines below represent a minimum standard of care and due diligence in regard to the handling of personal data. IOM recommends that service delivery organizations develop their own standards which comply with these minimums and that staff be provided with guidance to ensure that they adhere to the standards. Additional guidelines can also be found in the Council of Europe s Convention for the Protection of Individuals with regard to Automatic Processing of Personal Data: CONFIDENTIAL PERSONAL DATA OF TRAFFICKING VICTIMS For the purpose of the following guidance, confi dential personal victim data shall be defi ned as: Any personal data, health record or description that might reveal the identity or location of a traffi cking victim, or any private and personal detail concerning a traffi cking victim in the organization s care.